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Job Order:
4145-326

Job Type:
Permanent

Title:
Chief Compliance Officer (Registered Investment Advisor) (4145-326)

Location:
Chicago

Description:
Bank-affiliated Registered Investment Advisor seeks Chief Compliance Officer
who will design/execute compliance program and ensure regulatory compliance
at highest possible levels. Will work closely with senior management, across
internal departments, and with external auditors/regulators as needed.

RESPONSIBILITIES:
Oversee SEC Compliance including maintaining all registrations
(company/personnel), maintaining ADV and all Compliance Manuals/Procedures
Develop/implement compliance training program for the firm and its employees
Coordinate with Bank Compliance staff for all OCC requirements; coordinate
Dual Employee Program/Training
Develop/implement policies/procedures for relevant laws/rules/regulations
and addressing risks/conflicts of interest
Identify/correct deficiencies in processes/procedures that could lead to
internal or regulatory non-compliance
Work with portfolio management/trading/marketing/client service/business
development/operations teams to advise on and help resolve compliance issues
Prepare/file Form ADV and prepare Forms 13F, U4, U5, and others
Maintain investment adviser representative registration system through
WebCRD
Performs compliance monitoring test work; monitor/review employees’ personal
securities transactions to ensure compliance with Code of Ethics; conduct
annual training on same
Review: emails/social media communications for firm/employees; trading
activity for best execution/procedural compliance; all marketing materials
for proper disclosures/regulatory compliance
Maintain thorough understanding of applicable rules/regulations governing
investment management advisory industry through ongoing education
Work with external legal counsel as needed with respect to firm guidance
Promotes culture encouraging ethical conduct and commitment to compliance
with applicable laws/regulations
Conduct onsite office audits; coordinate/oversee internal audits by outside
consultants
Accurately assess which matters/issues to handle or escalate to Managing
Partner and/or legal counsel

REQUIREMENTS:
Degree and 7-10 years of experience in a similar role
FINRA Series 65
Thorough knowledge of investment advisory business; experience with illiquid
alternative investments; strong understanding of regulatory environment and
Investment Advisers Act of 1940
Advanced skills in Word/Outlook/Excel
Strong values/ethics/integrity; exceptional verbal/written communication
skills; ability to establish rapport with and gain cooperation/commitment
from others; high degree of credibility and professionalism inside/outside
organization; strong analytical/reasoning skills and ability to exercise
balanced judgment; strong organizational skills and ability to manage
multiple projects simultaneously


Category:
Asset Management

Contact:
matt@bcius.com